Securities Articles - Page 44
ARTICLES(2,436)
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As the Summer Wound Down ... FINRA Amended the “Publicity Rule” (Rule 8313) and Discussed Best Practices in Business Continuity Plans
- September 05, 2013
- LEGAL ALERTS/ARTICLES
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China State Council Launched New Financial Coordination Mechanism
- September 04, 2013
- LEGAL ALERTS/ARTICLES
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The Section 409A Valuation: Do You Really Need One?
- September 04, 2013
- LEGAL ALERTS/ARTICLES
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Private Placement Practice under the New Rules Permitting General Solicitation and General Advertising
- September 03, 2013
- LEGAL ALERTS/ARTICLES
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Risk Retention for Commercial Mortgage-Backed Securities: Re-Proposal Fact Sheet
- September 02, 2013
- LEGAL ALERTS/ARTICLES
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Adviser Subject to Enforcement Action for Misleading Fund’s Board
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Advisers Need to Revisit Their Business Continuity Plans
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Private Fund Issuers’ Use of New SEC Rule 506(c) Hardly a “Slam Dunk”
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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Registered Adviser Sanctioned for Failure to Supervise Associated Person
- August 30, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Finalizes Harmonization Rules: Advisers to RICs Benefit From “Substituted Compliance” for Many Obligations
- August 29, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Implements Substituted Compliance Approach for Commodity Pool Operators of Registered Investment Companies
- August 29, 2013
- LEGAL ALERTS/ARTICLES
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Quick Help Guide to CFTC’s New Rules for CPOs to RICs; Amended Rules for Other CPOs and CTAs
- August 28, 2013
- LEGAL ALERTS/ARTICLES
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Client Bequests to Financial Advisors
- August 27, 2013
- LEGAL ALERTS/ARTICLES
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SEC Provides Custody Rule Relief for Privately Offered Securities
- August 24, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Reporting Obligations Begin for End-Users Engaging in Energy Commodity Swaps
- August 23, 2013
- LEGAL ALERTS/ARTICLES
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Show Me The Money? Wall Street Journal Reports That A Big Pay Day For Whistleblowers “May Take A While”
- August 20, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Adopts Harmonization Rules for Registered Investment Companies
- August 15, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Issues Highly Anticipated Harmonization Rules
- August 15, 2013
- LEGAL ALERTS/ARTICLES
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OSC Approves Ontario Only Equity Crowdfunding Portal for Accredited Investors - MaRS VX
- August 14, 2013
- LEGAL ALERTS/ARTICLES
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SEC Issues New Custody Guidance to Private Fund Managers
- August 12, 2013
- LEGAL ALERTS/ARTICLES
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Third Party Funding Gains Traction in Ontario Class Actions
- August 12, 2013
- LEGAL ALERTS/ARTICLES
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An End-User’s Guide to the CFTC’s Final Cross-Border Guidance
- August 09, 2013
- LEGAL ALERTS/ARTICLES
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Ready or Not: Lost Securityholders, Uncashed Checks and Dormant Accounts
- August 09, 2013
- LEGAL ALERTS/ARTICLES
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A Welcome Bright Spot in Africa and Human Rights Law
- August 08, 2013
- LEGAL ALERTS/ARTICLES
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CFTC Update: Commodity Futures Trading Commission Assesses Penalty in First “Spoofing” Case
- August 08, 2013
- LEGAL ALERTS/ARTICLES
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Raising Capital Just Got A Little Easier
- August 08, 2013
- LEGAL ALERTS/ARTICLES
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Changes to the Private Offering Market: SEC Eliminates Prohibition on General Solicitation, Disqualifies Bad Actors, and Proposes New Rules
- August 07, 2013
- LEGAL ALERTS/ARTICLES
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Insights from the 2013 SIFMA San Francisco Regional Conference
- August 07, 2013
- LEGAL ALERTS/ARTICLES
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Massachusetts Supreme Judicial Court Reconsiders, Reverses Course on Class Action Waivers in Arbitration Agreements
- August 07, 2013
- LEGAL ALERTS/ARTICLES